Trinidad and Tobago Securities and Exchange Commission

Mission Statement

To protect investors, promote and enable the growth and development of the securities industry by nurturing fair, efficient and transparent securities markets, cooperating with other regulators and mitigating systemic risk.

Structure of the Commission

To protect investors, promote and enable the growth and development of the securities industry by nurturing fair, efficient and transparent securities markets, cooperating with other regulators and mitigating systemic risk.

Staff of the Commission

The staff is appointed by the Commission and includes the Chief Executive Officer, Deputy Chief Executive Officer, General Counsel, Management team, officers and support staff.

Functions of The Commission

The Commission was first established, by the Securities Industry Act (SIA) in 1995 and continued under the Securities Act 2012 (SA, 2012) as a body corporate to regulate the securities market in Trinidad and Tobago.

Some of the Commission’s main functions, as outlined in Section 6 of the SA, 2012 are to:

Advise the Minister of Finance on matters related to the securities industry;

Maintain surveillance over the securities market and ensure orderly, fair and equitable dealings in securities;

Register, authorize or regulate, in accordance with the SA, 2012, self-regulatory organisations, securities companies, brokers , dealers, traders, underwriters, issuers and investment advisers and control and supervise with a view to proper standards of conduct, and professionalism in the securities business;

Protect the integrity of the securities market against any abuses arising from the practice of insider trading;

Create and promote such conditions in the securities as may seem to it necessary, advisable or appropriate to ensure the orderly growth and development of the capital market;

Educate and promote an understanding by the public of the securities industry and the benefits, risks, and liabilities associated with investigating in securities;

Ensure compliance with the Proceeds of Crime Act, any other written law in relation to the prevention of money laundering and combating the financing of terrorism or any other written law that is administered or supervised by the Commission.

Divisions of the Commission

Disclosure, Registration and Corporate Finance

Market Regulation and Surveillance

Legal Advisory and Enforcement

Policy, Research and Planning

Information Management

Corporate Services

Corporate Communications, Education and Information

Human Resource Management

Contact Information

About Us

The Bankers Association of Trinidad and Tobago (BATT) was formed in 1997.
The Association was comprised initially of the following Member banks: Bank of Commerce, Bank of Nova Scotia (Scotiabank), Citibank, First Citizens Bank Limited, Republic Bank Limited and Royal Bank of Trinidad and Tobago Limited.